DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
Registered advisor
Kevin Ray Hermis
Certified Financial Planner
Feed of 09/15/2026
Also filed as Kevin Hermis
At current firm
3 y
since Nov 4, 2022
In the industry
20 y
since Mar 3, 2006 (earliest exam, job or registration)
Prior registered firms
7
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- Rockefeller Capital Management BD affiliated currentsince Nov 4, 2022 · The Woodlands, Tx
- Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseMar 20, 2020 to Nov 8, 2022 · The Woodlands, Tx
- Baker Tilly Wealth Management, LLC mixed wealthOct 21, 2019 to Mar 20, 2020 · Houston, Tx
- United Capital Financial Advisors independent RIAAug 31, 2018 to Oct 24, 2019 · Houston, Tx
- Mrz Financial Services LLC unclassifiedOct 25, 2017 to Dec 31, 2018 · Houston, Tx
- Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseOct 23, 2009 to Oct 24, 2017 · Houston, Tx
- Banc Of America Investment Services, Inc. unclassifiedMay 6, 2008 to Oct 23, 2009 · Houston, Tx
- Arvest Wealth Management independent RIAMar 6, 2006 to May 6, 2008 · Lowell, Ar
Moves
a registration end followed by a registration begin elsewhere
- Merrill Lynch, Pierce, Fenner & Smith Incorporated to Rockefeller Capital Managementleft Nov 8, 2022, registered Nov 4, 2022 (-4 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- Baker Tilly Wealth Management, LLC to Merrill Lynch, Pierce, Fenner & Smith Incorporatedleft Mar 20, 2020, registered Mar 20, 2020 (0 days) · RIA to wirehouse
- United Capital Financial Advisors to Baker Tilly Wealth Management, LLCleft Oct 24, 2019, registered Oct 21, 2019 (-3 days) · Affiliated broker-dealer or bank to independent RIA
- Mrz Financial Services LLC to United Capital Financial Advisorsleft Dec 31, 2018, registered Aug 31, 2018 (-122 days) · Other · moved with a team
- Merrill Lynch, Pierce, Fenner & Smith Incorporated to Mrz Financial Services LLCleft Oct 24, 2017, registered Oct 25, 2017 (1 days) · Other
- Banc Of America Investment Services, Inc. to Merrill Lynch, Pierce, Fenner & Smith Incorporatedleft Oct 23, 2009, registered Oct 23, 2009 (0 days) · corporate re-registration, not a move
- Arvest Wealth Management to Banc Of America Investment Services, Inc.left May 6, 2008, registered May 6, 2008 (0 days) · Other
Signals
- Kevin Ray Hermis left Merrill Lynch, Pierce, Fenner & Smith Incorporated for Rockefeller Capital Management (registered 2022-11-04)Nov 8, 2022 · Advisor changed firm · fact
Transition signals
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address